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Ryan Charles Brockhaus

Northwestern Mutual Investment Services, LLC

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About Ryan Charles Brockhaus

Ryan Brockhaus is a financial advisor with Northwestern Mutual Investment Services, LLC. Ryan has been in the financial industry since 2007. Ryan has a Series 6, 7, 26, and 63 license. Ryan also holds a Certified Financial Planner designation. Ryan is registered to provide investment advice in 27 states. Ryan is also registered with the Financial Industry Regulatory Authority (FINRA). Northwestern Mutual Investment Services, LLC is a registered investment advisor. The firm's main office is located in Milwaukee, Wisconsin. The firm provides a variety of investment advisory services, including investment research, referrals to other advisors, and financial planning.

Firm Information

Ryan Brockhaus is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Ryan Brockhaus’s Registration & Firm History

MN

05/01/2015 - Present

Northwestern Mutual Investment Services, LLC (MENDOTA HTS MN)

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Licenses & Designations

BC

Issued 08/09/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/09/2020

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/29/2015

Series 7 - General Securities Representative Examination

BC

Issued 06/12/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Ryan Charles Brockhaus. Review regulatory record here.
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